PAUL DOUGLAS AXBERG

PAUL DOUGLAS AXBERG is currently employed as a Broker and/or Investment Adviser at USA FINANCIAL SECURITIES CORPORATION located at 13613 W CAMINO DEL SOL STE 3, SUN CITY WEST, AZ, 85375.

PAUL DOUGLAS AXBERG has worked at USA FINANCIAL SECURITIES CORPORATION since November 16, 2017

Disclosure History

PAUL DOUGLAS AXBERG has 5 Disclosure Event(s).

Date: December 12, 2012
Category: Financial
Type: Compromise
Disposition: NOTE MODIFICATION EXECUTED 12/18/2012

Date: August 26, 2012
Category: Financial
Type: Compromise
Disposition: SETTLED

Date: August 26, 2012
Category: Financial
Type: Compromise
Disposition: SETTLED

Date: November 21, 2011
Category: Customer Dispute
Allegations: CLIENT ALLEGES REPRESENTATIVE ALLOCATED ASSETS INTO STOCK FUNDS FROM A FIXED ACCOUNT WITHOUT THE CLIENT'S CONSENT.
Damage Amount Requested: $81,610.25
Settlement Amount: $37,929.24
Broker Comment: SETTLEMENT WAS DONE TO AVOID ADDITIONAL LEGAL COSTS AND AS A RESULT OF AN INTERNAL ADMINISTRATIVE ERROR WHICH PRECIPITATED THE MATTER.

Date: October 05, 2011
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES UNSUITABLE INVESTMENT.
Damage Amount Requested: $29,813.93

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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